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31 Mar 2016, 9:51 am
The findings also included that Fretz willfully filed a false Uniform Application for Securities Industry Registration or Transfer (Form U4) and willfully failed to amend his Form U4 to disclose unsatisfied judgments filed against him. [read post]
25 Mar 2016, 6:00 am
Karp, Paul, Weiss, Rifkind, Wharton & Garrison LLP, on Friday, March 18, 2016 Tags: Class actions, Disclosure, Fraud-on-the-Market, Information asymmetries, Investor protection, Liability standards,Registration statements, Reliance, Securities Act, Securities litigation, Shareholder suits, U.S. federal courts Proposed Revisions to 13(d) Beneficial Ownership Reporting Rules Posted by Theodore N. [read post]
20 Mar 2016, 2:11 pm
Evolation Yoga, LLC., 803 F.3d 1032 (9th Cir. [read post]
14 Mar 2016, 6:19 am
The trial court concluded that the news media shield law did not apply, and it denied third-party LLC Media–Consult's (LMC) motion to quash subject to certain modifications. [read post]
22 Feb 2016, 4:36 pm
Unless subject to an exemption, securities offered or sold to the public in the U.S. must be registered by filing a registration statement with the SEC. [read post]
19 Feb 2016, 11:57 am
Aegis Defense Services, LLC, 976 F. [read post]
16 Feb 2016, 3:45 am
H/T Walter Olson Copyright © 2015 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
7 Feb 2016, 4:25 pm
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
1 Feb 2016, 3:21 am
[Section 2(d) refusals to register the mark ECLIPSE for various goods relating to motion pictures and entertainment, in classes 9, 14, 18, 24, and 25, in view of, respectively, several class 9 registrations for the identical mark, a registration of the identical mark for watches in class 14, three registration in class 18 for ECLIPSE, ECLIPZE, and ECLIPS & Design, a class 24 registration of ECLIPSE for curtains, and a class 25 registration of the… [read post]
27 Jan 2016, 1:32 pm
FINRA currently requires firms to report the termination of a representative’s registration/employment with them within 30 days of the termination through the CRD system[1]. [read post]
26 Jan 2016, 10:24 am
Often the buyer is an LLC that specializes in such purchases. [read post]
26 Jan 2016, 10:24 am
Often the buyer is an LLC that specializes in such purchases. [read post]
26 Jan 2016, 10:24 am
Often the buyer is an LLC that specializes in such purchases. [read post]
22 Jan 2016, 4:10 am
Copyright © 2015 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
20 Jan 2016, 7:41 am
The promissory note was secured by a mortgage on the property executed by both Holden and his wife in favor of Mortgage Electronic Registration Systems, Inc. [read post]
13 Jan 2016, 5:05 pm
In the following guest post from John Reed Stark, President, John Reed Stark Consulting LLC, and David R. [read post]
7 Jan 2016, 11:55 am
” * Zerorez Franchising System, Inc. v. [read post]
6 Jan 2016, 8:56 am
. * Tomaydo-Tomahhdo, LLC, V. [read post]
5 Jan 2016, 3:15 pm
Partnership and LLCs are required to register at least two officers. [read post]
5 Jan 2016, 3:15 pm
Partnership and LLCs are required to register at least two officers. [read post]
